MML Ends Employment Relationship With Broker Chander Goel Over Life Insurance Practices Soreide Law Group is looking into potential investor disputes against broker Chander Goel [CRD#: 4588999, New York, New York]. Apparently, MML Investors Services terminated him for suspicious life insurance practices. It seems that Goel possibly used inappropriate life insurance sales practices which may […]

UBS Clients Indicate That Broker Gerard Costello Misrepresented Investments Soreide Law Group is reviewing possible investor claims against securities broker Gerard Costello [CRD#: 1551511, New York, NY]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who joined UBS Financial Services on November 20, […]

LPL Financial's Nicholas Travascio Allegedly Recommended Unsuitable REITs Investors are voicing complaints and serious concerns in regard to Nicholas Travascio [CRD#: 2581756, Hurst, Texas]. Supposedly, the securities broker, who worked for LPL Financial between May 1999 and December 2018, discloses 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Namely, LPL Financial clients indicate […]

Morgan Stanley's Michael Paesano Allegedly Gave Bad Advice To Clients Soreide Law Group is investigating potential investor claims of sales practice violations by broker Michael Paesano [CRD#: 1557229, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that approximately 21 clients disputed the securities broker, who worked with Morgan Stanley from May […]

Ameritas Broker Robert Gianchiglia Purportedly Misrepresents Facts Relating To Securities Transactions Investors are voicing complaints and serious concerns in regard to securities broker Robert Gianchiglia [CRD#: 2117250, Worcester, Massachusetts]. Evidently, Gianchiglia worked for Ameritas Investment Corp. between August 2005 and May 2017 and joined USA Financial Securities Corporation in April 2017. Notably, Gianchiglia discloses six […]

Investors File Disputes About Broker James Pecoraro Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Pecoraro [CRD#: 2440231, Garden City, New York]. Evidently, at least 10 clients raised serious concerns about the securities broker, who worked for SW Financial between 2016 and 2019 and who joined […]

MARK THOMAS LAMKIN (MARK LAMKIN) CRD#: 2121510, an advisor formerly with LPL Financial of Louisville, Kentucky, has been issued a three month suspension and a $7,500 fine by the Financial Industry Regulatory Authority (FINRA) because he allegedly borrowed $1.3 million from a client without notifying his member firm or obtaining written approval. In a Letter […]

Broker Bernard Audet Allegedly Misrepresented Life Insurance Policies Investors are alleging losses because of Bernard Joseph Audet [CRD#: 1317819, Newtown Square, Pennsylvania]. Evidently, the securities broker, who joined MML Investors Services in 2017, discloses 7 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Audet’s clients asserted claims of misrepresentation, omissions, and unsuitable insurance […]

FINRA Suspends Portfolio Advisors Alliance's Craig Siegel Soreide Law Group is looking into potential investor disputes against securities broker Craig Siegel [CRD#: 5759415, New York, New York]. Evidently, Siegel worked for Portfolio Advisors Alliance between 2013 and 2018. Notably, FINRA suspended Siegel between May 10, 2019 and July 16, 2019 for non-compliance. Not only that, […]